Tracy Lynn Refior

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2021-07-21
MO	RA	APPROVED	2021-07-21
NE	RA	APPROVED	2021-07-21
TX	RA	APPROVED_RES	2021-07-21

KS RA
APPROVED

Since 2021-07-21
MO RA
APPROVED

Since 2021-07-21
NE RA
APPROVED

Since 2021-07-21
TX RA
APPROVED_RES

Since 2021-07-21

Branch Locations

7450 Suncrest Dr Ste A, Lincoln, NE 68516 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Sycart Llc	Lincoln	NE	01/2002	07/2021
Waddell And Reed, Inc.	Lincoln	NE	01/2010	07/2021
Various Insurance Carriers For W & R Insurance Agencies	Lincoln	NE	01/2010	07/2021
Y.C. Art Llc	Lincoln	NE	10/2015	07/2021
Trinity Lutheran Church	Walton	NE	10/2015	07/2021
Always Safe Storage	Lincoln	NE	05/2016	07/2021
Always Safe Storage Llc	Lincoln	NE	07/2016	07/2021
Tracy L Refior	Lincoln	NE	11/2016	07/2021
Jeremy Kester	Lincoln	NE	03/2018	07/2021
Candidate For Lincoln Airport Authority	Lincoln	NE	03/2021	07/2021
Lpl Financial Llc	Lincoln	NE	07/2021	Present

01/2002 → 07/2021

Sycart Llc

Lincoln, NE
01/2010 → 07/2021

Waddell And Reed, Inc.

Lincoln, NE
01/2010 → 07/2021

Various Insurance Carriers For W & R Insurance Agencies

Lincoln, NE
10/2015 → 07/2021

Y.C. Art Llc

Lincoln, NE
10/2015 → 07/2021

Trinity Lutheran Church

Walton, NE
05/2016 → 07/2021

Always Safe Storage

Lincoln, NE
07/2016 → 07/2021

Always Safe Storage Llc

Lincoln, NE
11/2016 → 07/2021

Tracy L Refior

Lincoln, NE
03/2018 → 07/2021

Jeremy Kester

Lincoln, NE
03/2021 → 07/2021

Candidate For Lincoln Airport Authority

Lincoln, NE
07/2021 → Present

Lpl Financial Llc

Lincoln, NE

Previous Registrations

2010-03-19 → 2021-07-21

Waddell & Reed

Savage, MN

Lincoln, NE

Other Businesses

1- 9/2017 / Always Safe Storage LLC / Other / 10 HR MNTH / Non Investment Related / Eagle NE 68347 2- 10/2015 / Y.C. Art LLC / Business Entity For Tax/Investment Purposes Only / 2 HR MNTH / Non Investment Related / Lincoln , NE 68506 3- 11/2001 / Tracy L Refior / Other / 1 HR MNTH / Investment Related / Lincoln, NE 4- 09/2002 / Sycart LLC / Real Estate Rental / 6720 South st Lincoln , NE, 68506 / 40 HR MNTH / Non Investment Related / Lincoln , NE 68506 5- 03/30/2022 - Tracy For Treasurer - Not Investment Related - Home Based - Other-Candidate - Start Date - 02/18/2022 - 20 Hours Per Month/ 0 Hours During Securities Trading - Campaign for Treasurer-Lancaster County. 6- 02/05/2024 - Overland Wealth - Inv related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 2/2/2024 - 0 Hrs/mo.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-03-17
S63	Uniform Securities Agent State Law Examination	1993-09-09

S66 Uniform Combined State Law Examination

2010-03-17
S63 Uniform Securities Agent State Law Examination

1993-09-09

Other Names

Tracy Refior

View on SEC IAPD